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Fraud Act
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#	Item
791	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 6, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-06 13:53:41 United States securities law Financial services 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Securities fraud Securities Act Financial adviser Collective investment scheme Financial economics Investment Finance
792	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 23, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-01-23 15:17:03 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Act United States Government Securities Fraud Deterrence and Investor Restitution Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
793	Complaint Against James Roland Dial et al. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-06-01 14:15:06 Financial regulation Financial system Financial economics Securities New Deal Securities Act Securities Exchange Act Securities fraud U.S. Securities and Exchange Commission United States securities law 73rd United States Congress United States Securities and Exchange Commission
794	Complaint v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-01-30 13:18:35 Finance Occupations Fraud General ledger Inventory Accounts payable U.S. Securities and Exchange Commission Securities Exchange Act Pearlasia Gamboa Business United States securities law Accountancy
795	BNA’s Patent, Trademark & Copyright Journal ® Add to Reading List Source URL: www.morganlewis.com Language: English - Date: 2014-12-19 14:49:20 Jurisdiction Computer law Cyberwarfare Economic Espionage Act Computer Fraud and Abuse Act Industrial espionage Protected computer Theft Espionage Law Trade secrets Civil procedure
796	#..SEC-31 System name: Office of General Counsel (Adjudication) Working Files-SEC. System location: Securities and Exchange Commission, Washington, DC[removed]Categories of individuals covered by the system: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:58:00 Law Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Freedom of Information Act Securities Fraud Deterrence and Investor Restitution Act Regulation S-K United States securities law Financial regulation Government
797	What SIPC Protects... Avoid Investment Fraud and What it Does Not Protect When a brokerage firm is closed and customer Add to Reading List Source URL: sipc.org Language: English - Date: 2014-11-17 16:23:32 Finance Business Securities Investor Protection Act Financial Industry Regulatory Authority Annuity Short Security U.S. Securities and Exchange Commission Recovery of funds from the Madoff investment scandal Financial economics Investment Securities Investor Protection Corporation
798	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 6, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-06 13:53:41 United States securities law Financial services 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Securities fraud Securities Act Financial adviser Collective investment scheme Financial economics Investment Finance
799	Microsoft Word - Early_Summary_of_April_19th_QM_Amendments Add to Reading List Source URL: www.mortgagebankers.org Language: English - Date: 2013-05-10 09:46:42 Mortgage Finance Economics Mortgage loan Dodd–Frank Wall Street Reform and Consumer Protection Act Loan Debt Mortgage fraud Financial economics United States housing bubble Mortgage industry of the United States
800	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 26, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-01-26 17:14:47 Financial services Securities Hedge fund Securities Exchange Act Securities fraud U.S. Securities and Exchange Commission Financial economics Finance Investment

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